Compliance Officer

Altruist; San Francisco (CA); Hybrid; USD 136,000 - 192,000; Full time

Benefits offered by this job

Hybrid work arrangement

Competitive compensation

Equity opportunities

Excellent benefits

Job summary

Altruist is hiring a Compliance Officer to lead the compliance program for Altruist Advisors, the firm’s new SEC-registered investment adviser. You will be the primary contact for the IAR lifecycle, partnering with Product, Engineering, and Operations to scale the compliance program from the ground up.

This senior IC role requires strong regulatory expertise, 5+ years in adviser compliance, and the ability to drive policy, processes, and Form ADV filings across the organization.

Qualifications

• 5+ years of hands-on investment adviser compliance experience.
• Strong working knowledge of the Investment Advisers Act and SEC Marketing Rule.
• Experience preparing and filing Form ADV.
• Familiarity with FINRA rules is a plus.
• Able to build and scale a compliance program across multiple teams.

Responsibilities

• Act as lead compliance point of contact for Altruist Advisors.
• Own the IAR lifecycle from onboarding to offboarding.
• Help build and scale the RIA's compliance program with policies and procedures.
• Own Form ADV Parts 1, 2A, and 2B filings and updates.
• Provide compliance input to Product on the new corporate RIA offering.
• Review and approve IAR marketing materials under SEC rules.
• Manage vendor relationships supporting the program.
• Provide ongoing oversight of IAR activity and remediation.

Skills

Investment adviser compliance

Regulatory expertise

Cross-functional collaboration

Ownership mindset

Technical aptitude

Securities licenses awareness

Education

Bachelor's degree in a relevant field

Job description

About Altruist

Altruist is transforming the multi‑trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors nationwide, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients.

We’re looking for exceptional talent to help us achieve our mission of making financial advice better, more affordable, and accessible to all. If you’re passionate about challenging the status quo and want to do the most important work of your life, we’d love to meet you!

Our values

• Kindness – We listen to understand, embrace healthy debate and diverse perspectives, and approach conflict openly, honestly, and respectfully.
• Brilliance – We take ownership in everything we touch, using our unique superpowers to reach a common goal as a team. We succeed and fail as one.
• Grit – When challenges arise, we stay laser‑focused on achieving our mission and finding a way forward, even when it’s hard. We are nimble, maintain urgency, and adapt swiftly to change.

The opportunity

We’re hiring a Compliance Officer to serve as the functional compliance lead for Altruist Advisors, Altruist’s new SEC‑registered investment adviser. You will be the primary point of contact and subject‑matter expert for the RIA, owning the IAR relationship end‑to‑end and helping build and scale the RIA’s compliance program from the ground up. You’ll partner directly with the Head of Compliance and with Product as we launch and grow our new corporate RIA offering.

This is a senior individual‑contributor role. You’ll own substantive compliance work across the RIA’s program while operating with the judgment and independence to shape how the program is built. You’ll also serve as a trusted partner to teams across Product, Engineering, Operations, and Marketing.

*This is a hybrid role requiring three days per week in the office.

Your impact

• Primary POC and SME – Act as the lead compliance point of contact and subject‑matter expert for Altruist Advisors.
• IAR lifecycle – Own the IAR relationship from onboarding through offboarding, including oversight of ongoing IAR activity.
• Program build‑out – Assist in building and scaling the RIA’s compliance program, including developing and managing policies and procedures.
• Form ADV – Own the preparation, maintenance, and timely filing of Form ADV (Parts 1, 2A, and 2B), including annual and material amendments.
• Product partnership – Partner closely with Altruist’s Product team to provide compliance input and guidance on the new corporate RIA offering.
• Marketing review – Review and approve IAR marketing materials and communications under the SEC Marketing Rule.
• Vendor management – Own vendor relationships supporting the RIA’s compliance program.
• Ongoing oversight – Conduct ongoing oversight and monitoring of IAR activity, escalating issues and driving remediation.
• Cross‑entity support – Provide general compliance support to Altruist’s other regulated entities, including the broker‑dealer, as required.

What you bring

• Experience – 5+ years of hands‑on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program. Broker‑dealer compliance experience preferred.
• Speed and adaptability – Prior experience in a fintech or high‑growth financial services environment, or a comparable track record that demonstrates the ability to move quickly and operate with ambiguity as programs are built.
• Regulatory expertise – Strong working knowledge of the Investment Advisers Act and the SEC Marketing Rule, hands‑on experience preparing and filing Form ADV, and practical judgment to apply regulations in a solutions‑oriented way. Familiarity with FINRA rules a plus.
• Cross‑functional collaboration – Builds strong cross‑functional relationships; drives outcomes across Compliance, Legal, Operations, Product, and Engineering and persuades with data and regulatory rationale rather than authority.
• Ownership mindset – Comfortable owning a program end‑to‑end as a senior IC, setting the quality bar for substantive work while partnering with the Head of Compliance on strategy and direction.
• Technical aptitude – Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.
• Education – Bachelor’s degree (B.A. or B.S.) in a relevant field.
• Securities licenses – Series 65/66, Series 7, and Series 24 preferred; willingness to obtain shortly after joining also welcome.

Bonus points if you bring

• Hands‑on experience authoring and maintaining compliance policies and procedures for an RIA.
• Experience with IAR onboarding, registration, and ongoing oversight at scale.
• Experience managing compliance vendors and related tooling.

Salary

San Francisco, CA salary range: $136,000 – $192,000 USD.

What we bring

• Stunning, amenity‑filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity.
• Competitive pay and equity for eligible positions.
• Premium healthcare, dental, and vision insurance plans (HMO and PPO).
• 401(k) savings plan with a 4% match and immediate vesting.
• 16 week paid parental leave after one year of employment.
• Professional growth and development opportunities, including an employee mobility program and an annual L&D budget allocation for each employee.
• Company perks program (includes discounts on pet insurance, fitness, cell phone plans, and travel, etc.).
• Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home‑purchasing preparedness, etc.).
• One month work from anywhere policy (with the exception of a few countries).

Diversity and Inclusion

We are committed to providing fair, equitable, and competitive compensation by leveraging market data to inform our pay bands. Base salaries are reviewed regularly in conjunction with performance review cycles, so we reward high performance and provide growth opportunities. We encourage all candidates to apply, even if you don’t meet every single qualification. We are dedicated to building a diverse, inclusive, and authentic workplace and welcome you to apply for this role or other roles at Altruist.